James Pryor, Mba, Cfp® Email and Phone Number

• Implemented and monitored sustainable business development processes resulting in 37.5% YoY growth and winning back-to-back Houston Business Journal Fast 100 Awards (2021-2022)• Completed all SEC and FINRA filing requirements as a one-man compliance department, including spearheading a Summer 2022 SEC surprise audit• Orchestrated launch of the firm’s first private equity funds as administrator and contact person for external partners• Consolidated accounts receivable and payable, auditing, and CRM management processes• Winner of the 2nd Annual RIA Intel “Rising Star” Award for representing the future of the wealth management• x2 Winner of the Houston Business Journal Fast 100 Award (2021, 2022) for having one of the fastest growing YoY revenue in the Greater Houston Area

▪ Managed book of business of over 30 High Net-Worth households located throughout the Greater Houston area; Provided customized services catered to each client and contributed expertise to meet varying financial objectives;▪ Partnered with business owners and their families to provide clarity, alignment, and peace of mind for their life’s wealth; Developed intergenerational wealth transfer and succession plans through complex asset protection and high level investment strategies.

⇨Reviewed comprehensive nonprofit financial trends report; assembled and presented PowerPoint deck for senior management and nonprofit boards and investment committees.⇨Provided world-class thought leadership to nonprofit organizations and worked directly with nonprofit relationship managers, marketing, and sales to improve business operations.⇨Wrote white papers, articles, blogs, newsletters, and presentations for a broad spectrum of nonprofits to include hospitals, colleges, communities, and private foundations. ⇨Supported department initiatives by developing and championing new lineup of tools and service offerings for nonprofit clients; improved client relationships by customizing interactions according to the client organizations’ mission, value system, and investment profile.⇨Provided on-site consulting engagements across the United States for nonprofit boards and investment committees; Utilized as a subject matter expert for the College/University and Higher Education nonprofit client segments.

⇨Managed book of business consisting of 1,800 ultra-high net worth personal advisors in the Greater Philadelphia Area with the goal of creating and advancing sales of mutual fund and ETF products; Ranked #3 out of 32 in US territory growth, and #1 out of 18 in East Coast sales, and increased market share of territory over 2% ⇨Frequently traveled to meet clients and advisors; presented topics to include securities construction, retirement savings vehicles, economic and market outlooks, and state of America’s investment savings landscape.⇨Impacted net cash flow to an industry record of $365B in 2017.⇨Achieved sales and sales activity goals set by leadership team; identifies opportunities to move clients through the sales process creating promoters of Vanguard.⇨Built, grew, and maintained advisor relationships by developing a thorough understanding of Vanguards value-added offerings and successfully positioned services to advisors.

⇨Built brand awareness by educating customers and recommended suitable Vanguard investments; passed sales leads to responsible FAS sales team when appropriate.⇨Supported the Internal and External sales executives and FAS Management Team; coordinated and executed direct mail/e-mail campaigns, internal and external marketing campaigns, production of customized prospect/client target lists used in sales process, and tracked results.⇨Solicited and responded to inquiries from Internal and External sales executives related to client's general requests, specialized product questions, and researched competitive information; delivered requested information. ⇨Managed responses for the Financial Advisor Website and FAS Sales Internet Message Handler (IMH) database in timely manner.⇨Approved or rejected registration requests from unknown advisors; implemented security measures to make decisions.

⇨Executed routine clerical and monetary transactions for Mutual Funds and Brokerage accounts; escalated issues as needed.⇨Provided clients with requested information on full Vanguard product line and captured relevant information in WAVE.⇨Handled high frequency of complex interactions and drafted assistance of Vanguard expert groups as needed to ensure satisfaction of client needs.⇨Prioritized and managed interactions with client base; followed-up and planned client specific solutions.

⇨Selected and managed a crew of eight local window cleaning technicians within five different towns in the Greater Boston Area. ⇨Recorded over $25,000 in sales while having the highest average job size in the America-based division of the company. ⇨Balanced financial and recoverable statements in addition to supplying technician payroll services and documents under MA regulatory standards.

⇨Delivered exceptional customer service while expediting customer transactions at the teller booth as well as over the phone. ⇨Proficient in the opening and closing procedures; adhered to checklist.⇨Audited and maintained various bank machines.

⇨ Demonstrated effective customer support services and provided quality services in high-paced cafe; addressed customer inquiries and resolved complaints. ⇨Established community bond with customers; created comfortable and inviting atmosphere.⇨Managed cash and credit card transactions; balanced receipts accurately and delivered to bank.